Tag: Broker/Dealer

A Securities and Exchange Commission review of the financial services industry’s cybersecurity preparedness shows the vast majority of examined broker/dealers and advisers have adopted written information security policies.

Independent financial advisory practice, Ellsworth Private Wealth Management, has transitioned to LPL Financial’s broker/dealer platform.

Total financial adviser headcount has decreased for a fifth consecutive year, according to research from Cerulli Associates.

Wellspring Advisor Group is the newest addition to the LPL Financial broker/dealer platform.

Retirement specialist advisory firm 401(k) Advisors formally adopted the NFP Retirement brand following an extensive service integration process.

The Institute for the Fiduciary Standard is recognizing September as a month for renewed focus on fiduciary issues and outreach.

The newly founded Financial Advocacy Network (FAN) has joined the LPL Financial broker/dealer and registered investment adviser (RIA) custodial platform.

Triad Hybrid Solutions, a registered investment advisory firm (RIA) newly created by Triad Advisors, serves fee- and commission-based independent financial advisers.

RCS Capital Corporation (RCAP) has entered into an agreement to purchase independent broker/dealer Girard Securities, Inc., further expanding the RCAP advisory network’s major 2014 growth.

Matrix Financial Solutions, Inc. announced that Southwest Securities and Summit Brokerage Services have implemented its broker/dealer platform.

Registered investment advisers (RIAs) have increased long-term mutual fund and exchange-traded fund (ETF) assets under management by more than 12% this year, according to Broadridge research.

Pension Advisors, an independent financial and retirement advisory firm, has selected Independent Financial Group, LLC as its new broker/dealer.

NFP Advisor Services (NFPAS), a National Financial Partners Corp. (NFP) business group, has integrated the retirement plan adviser tools and support services of 401(k) Advisors.

Three 401(k) Advisors consultants—Austin Gwilliam, Jason Jeskey and Kyle Posvistak—have joined Global Retirement Partners (GRP).

Who is using value-added tools from providers, and are they a useful addition for sales, lead generation and other facets of an adviser’s business? 

AIG Advisor Group established a partnership agreement with Castle Rock Innovations Inc. to implement the AXIS Retirement Analytics Platform (AXIS), an integrated benchmarking and disclosure system.

Now that the White House has taken a hand in the redrafting process, it’s anyone’s guess whether the Department of Labor (DOL) will come out with a proposal...

No more exceptions: Advisers who are members of the National Association of Personal Financial Advisors (NAPFA) cannot accept compensation in any form from any source other than their...

Pam Popp will join Lockton as president of retirement services operation, effective September 2.

The Financial Industry Regulatory Authority (FINRA) backed off its proposal requiring broker/dealers to disclose financial incentives to move to a new firm.